DAVID AARON ROCKWELL is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 9384 RIVER OTTER DR, FORT MYERS, FL, 33912.

DAVID AARON ROCKWELL has worked at CETERA ADVISOR NETWORKS LLC since December 07, 2015

Disclosure History

DAVID AARON ROCKWELL has 4 Disclosure Event(s).

Date: July 21, 2015
Category: Regulatory
Initiated By: Florida Office of Financial Regulation
Allegations: Making a material false statement on the application for registration
Resolution: Order SanctionDetails:
Sanctions: Denial
Broker Comment: on 9/30/2015, the Office of Financial Regulation entered a Final Order adopting the stipulation and consent agreement in the matter of David Aaron Rockwell. Mr Rockwell neither admitted nor denied the findings but consented to the entry of findings by the Office. The Office found that Mr Rockwell made a material misstatement on the applications for registration. Pursuant to the Order,Mr Rockwell's applications for registration as an associated person (AG and RA) of Cetera Advisor Networks, LLC are denied without prejudice to reapply no earlier than November 16, 2015

Date: May 24, 2013
Category: Criminal

Date: July 20, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: August 16, 2003
Category: Criminal
Charges: Police officer-assault/resisting/obstruction
Disposition: Dismissed
Broker Comment: Charged with obstruction for not taking a field sobriety test. Charges were dismissed.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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